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Compliance Risk Management Lead - Vice President
lead · Risk & Compliance
Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using expert judgment to solve real-world challenges that impact our company, customers, and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo, and striving to be best in class.
As a Compliance Risk Management Lead Vice President within the Risk Management and Compliance organization, you will assist in the development and maintenance of a strong compliance culture by working closely with the business, Legal, Risk, and Audit functions to provide compliance oversight of the business and expertise on regulatory compliance matters.
Job Responsibilities
- Partner with the line of business, Risk, Audit, Legal, and Control partners to monitor, implement, and test that sound compliance programs are in place.
- Provide compliance advice, guidance, and regulatory support to the J.P. Morgan Wealth Management broker-dealer (J.P. Morgan Securities, LLC) offering.
- Conduct reviews and analysis of field activities to confirm adherence to applicable policies, procedures, and regulatory requirements; identify potential risks or control gaps and recommend corrective actions.
- Lead specific projects to enhance the J.P. Morgan Wealth Management Compliance program and execute deliverables through completion.
- Evaluate the effectiveness of existing metrics; enhance or design new metrics to identify trends, patterns, and potential areas of concern.
- Advise the line of business on the design and implementation of action plans to address identified compliance and/or control gaps.
- Establish active partnerships with stakeholders to ensure effective communication, scheduling, and prioritization of compliance deliverables.
- Serve as a subject matter expert on requirements, expectations, and best practices for the Retail Non-Deposit Investment Products (RNDIP) program, supporting a consistent and cohesive approach across the consumer bank/broker-dealer.
Required qualifications, capabilities and skills
- 5+ years of experience in broker-dealer compliance.
- Knowledge of, or a demonstrated willingness to obtain, a working knowledge of regulations impacting broker-dealers.
- Proficiency in Microsoft Excel and PowerPoint, including experience creating senior management reporting and metrics; ability to perform data mining and analysis.
- Strong analytical, research, and problem-solving skills, with the ability to analyze large data sets and draw accurate conclusions.
- Strong knowledge of mutual funds, annuities, equities, fixed income, and investment advisory products.
- Excellent written and verbal communication skills; strong knowledge of FINRA and SEC regulatory requirements.
Preferred qualifications, capabilities and skills
- FINRA Series 7 and 24 preferred.
- Series 8 or 9/10 a plus.
- Some knowledge of consumer banking regulations is a plus.
- Bachelor's degree preferred.